FINRA Actions and the Due Diligence Obligations of Broker-Dealers in Private Placements

West LegalEdCenter

10/29/2013 01:00 p.m. - 02:00 p.m. EDT

Banking + Financial Services, Broker-Dealer Compliance + Regulation, Corporate Finance | Capital Markets, Financial Institutions + Financial Services, and Private Placements + PIPEs

Ze'-ev D. Eiger

Ze'-ev D. Eiger

Webinar

Alexa Powers
alexapowers@mofo.com
(212) 336-4312

For presentation materials, click here.

Private placements and the due diligence obligations of broker-dealers in such transactions have recently come under increased scrutiny from FINRA as part of a broader trend reflected most notably in the filing requirements for private placements that went into effect on December 3, 2012 (FINRA Rule 5123). This trend of increased scrutiny also is likely to continue in light of the SEC’s recent adoption on July 10, 2013, pursuant to Section 201(a) of the JOBS Act, of final rules relaxing the prohibition on general solicitation and general advertising for certain private placements under Rule 506 of Regulation D. Gain insight into this trend of increased scrutiny and learn how and if you, or your clients, are at risk of non-compliance.

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